Stephen M. Weber

VESTGEN ADVISORS

Inverness, IL 60067

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CRD#: 2064229

Professional summary

Stephen Matthew Weber is a registered financial advisor currently at VESTGEN ADVISORS, LLC located in Inverness, Illinois.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Stephen has worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Matthew Weber's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 22, 2024 - Present

VESTGEN ADVISORS, LLC

Office #1: 1605 West Colonial Parkway, Inverness, IL 60067

RIA

CRD#: 318657

Inverness, IL

Past

November 9, 2021 - September 20, 2024

LAKE STREET

RIA

CRD#: 296761

CHICAGO, IL

Past

November 21, 2019 - November 16, 2021

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

CHICAGO, IL

Past

November 8, 2019 - November 16, 2021

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

CHICAGO, IL

Past

October 1, 2012 - November 21, 2019

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

CHICAGO, IL

Past

October 1, 2012 - November 21, 2019

J.P. MORGAN SECURITIES LLC

CRD#: 79

CHICAGO, IL

Past

February 12, 2009 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

CHICAGO, IL

Past

February 12, 2009 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

October 24, 2008 - October 27, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

CHICAGO, IL

Past

October 24, 2008 - October 27, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

CHICAGO, IL

Past

October 1, 2008 - October 24, 2008

LASALLE FINANCIAL SERVICES, INC.

CRD#: 20373

CHICAGO, IL

Past

September 25, 2008 - October 24, 2008

LASALLE FINANCIAL SERVICES, INC.

RIA

CRD#: 20373

CHICAGO, IL

Past

September 9, 2003 - March 20, 2007

ASSOCIATED INVESTMENT SERVICES, INC.

CRD#: 1464

CHICAGO, IL

Past

July 11, 2002 - March 26, 2003

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

CHICAGO, IL

Past

December 13, 2001 - March 26, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

August 23, 2000 - November 9, 2001

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

April 16, 1997 - July 7, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

January 19, 1996 - November 11, 1996

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

NEW YORK, NY

Past

May 30, 1995 - October 3, 1995

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

June 30, 1994 - August 9, 1994

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

CRD#: 7404

NEW YORK, NY

Past

August 30, 1990 - November 3, 1992

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

August 30, 1990 - November 3, 1992

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

VESTGEN ADVISORS, LLC

CRD#: 318657 / SEC#: 801-123390

RIA

Registered Investment Advisory firm - (3/4/2022 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(9/22/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/10/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/15/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 1/30/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/25/1995

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/28/1990

Investment Company Products/Variable Contracts Representative Examination

Current Firm

VESTGEN ADVISORS, LLC

CRD#: 318657 / SEC#: 801-123390

RIA

Registered Investment Advisory firm - (3/4/2022 Approved)

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Contact information

Main Address

1605 West Colonial Parkway, Inverness, IL 60067

Mailing Address

Phone number

(312) 237-4446

Established

Firm type

Fiscal year end

# of Employees

115

SEC notice filing (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VESTGEN ADVISORS - WRAP FEE BROCHURE (3/31/2025)

VGA - ADV FORM 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	9,800
AUM (Assets Under Management)	$ 3,470,310,102

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Stephen M. Weber

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Matthew Weber's CRS (Customer Relationship Summary).

Certified licenses

Experience

LAKE STREET

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

LASALLE FINANCIAL SERVICES, INC.

LASALLE FINANCIAL SERVICES, INC.

ASSOCIATED INVESTMENT SERVICES, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

GLEACHER & COMPANY SECURITIES, INC.

JOSEPHTHAL & CO., INC.

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

VESTGEN ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/10/1999

Series 63

Date: 7/15/1994

SIE

Date: 10/1/2018

Series 31

Date: 1/30/2002

Series 7

Date: 7/25/1995

Series 6

Date: 8/28/1990

Current Firm

VESTGEN ADVISORS, LLC

Contact information

SEC notice filing (23 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VESTGEN ADVISORS, LLC

TRUST BUT VERIFY

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